Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sergio? Claim Your ProfileSergio Rivera Vazquez is an investment advisor representative at Edward Jones, a firm with over 20,000 licensed agents, registered representatives, and investment advisor representatives. Sergio has been in the financial industry for over 10 years, working in roles at various companies including MORGAN STANLEY, CP CAPITAL SECURITIES, and ACTINVER SECURITIES. Sergio has been registered with Edward Jones since April 26, 2024, and is currently registered in California, Florida, and Texas. Sergio holds several licenses including Series 66, Series 65, and Series 63, as well as Series 7, Series 9, and Series 10. Sergio's services include financial planning, pension consulting, portfolio management, and selection of other advisors for businesses and individuals. Edward Jones offers a variety of advisory services, including financial planning, pension consulting, and portfolio management.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
04/26/2024 - Present
Edward Jones (SUNNYVALE CA)
CA
05/16/2022 - 03/21/2024
MORGAN STANLEY (San Francisco CA)
FL
11/25/2014 - 02/12/2016
CP CAPITAL SECURITIES (MIAMI FL)
TX
02/21/2013 - 12/31/2013
ACTINVER SECURITIES, INC. (HOUSTON TX)
NY
02/22/1996 - 10/20/2000
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
TX
08/30/1993 - 02/22/1995
AFIN SECURITIES INTERNATIONAL, LTD. (HOUSTON TX)
BOTH
Issued 06/13/2022
Series 66 - Uniform Combined State Law Examination
IA
Issued 07/29/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/18/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/20/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/15/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/16/2022
Series 7TO - General Securities Representative Examination
BC
Issued 04/11/2022
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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